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    SteelEye - SEC Kicks off 2025 By Fining 12 Firms for Record Keeping Failures
    Regulatory Watch

    SEC Kicks off 2025 By Fining 12 Firms for Record Keeping Failures

    SteelEye    |    14 January 2025

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    Regulatory Watch: UK Banks Face Scrutiny Over WhatsApp, Signaling FCA Off-Channel Comms Crackdown
    Regulatory Watch

    UK Banks Face Scrutiny Over WhatsApp, Signaling FCA Off-Channel Comms Crackdown

    SteelEye    |    23 September 2024

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    SEC Fines 12 Firms Over $1.3M for Recordkeeping Failures
    Regulatory Watch

    SEC Fines 12 Firms Over $1.3M for Recordkeeping Failures

    SteelEye    |    18 September 2024

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    Swiss Energy Trader Fined $48 Million for Attempted Market Manipulation
    Regulatory Watch

    Swiss Energy Trader Fined $48 Million for Attempted Market Manipulation

    SteelEye    |    28 August 2024

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    New SEC & CFTC’s Enforcement Actions Reaffirm Tough Stance on Off-Channel Communications
    Regulatory Watch

    SEC & CFTC’s Recent Enforcement Actions Reaffirm Tough Stance on Off-Channel Communications

    SteelEye    |    15 August 2024

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    Global Regulators Intensify Scrutiny of Market Manipulation Failures
    Regulatory Watch

    Global Regulators Intensify Scrutiny of Market Manipulation Failures

    SteelEye    |    10 May 2024

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    CFTC Fines Australian Banking Group $500,000 for Spoofing Failures
    Regulatory Watch

    CFTC Fines Australian Bank $500,000 for Spoofing Surveillance Failures

    SteelEye    |    03 April 2024

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    US Regulators fine a tier-one bank $348 Million for Trade Surveillance Gaps
    Regulatory Watch

    US Regulators Fine a Tier-One Bank $348 Million for Trade Surveillance Gaps

    SteelEye    |    15 March 2024

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    SEC Fines 16 Firms $81 Million In Latest Record Keeping Failures
    Regulatory Watch

    SEC Fines 16 Firms $81 Million In Latest Record Keeping Failures

    SteelEye    |    12 February 2024

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    FINRA Fines Tier-One Bank for Trade Surveillance Failures
    Regulatory Watch

    FINRA Fines Tier-One Bank for Trade Surveillance Failures

    SteelEye    |    07 February 2024

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    Regulatory Watch

    FCA Market Watch 76 - Flying and printing

    SteelEye    |    01 February 2024

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    FINRA Releases 2024 Regulatory Oversight Report
    Regulatory Watch

    FINRA Releases 2024 Regulatory Oversight Report

    SteelEye    |    11 January 2024

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    SteelEye - Dutch bank fined €26.6m by European Commission
    Regulatory Watch

    Dutch bank fined €26.6m by EU Commission as German bank avoids penalty

    SteelEye    |    23 November 2023

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    SteelEye - Dubai regulator fines private bank for market abuse prevention failures
    Regulatory Watch

    Dubai regulator fines private bank for market abuse prevention failures

    SteelEye    |    03 November 2023

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    FCA market watch 75 - Trading during the market soundings procedure
    Regulatory Watch

    FCA market watch 75 - Trading during the market soundings procedure

    SteelEye    |    01 November 2023

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